Compliance Officer

4 weeks ago


Newcastle upon Tyne, United Kingdom meraki talent ltd Full time

Compliance Officer/File Checker


Want to apply Read all the information about this position below, then hit the apply button.

Permanent

Newcastle

Competitive Salary

As a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers.

Responsibilities:

  • Ensure client files are in compliance with regulatory standards and internal policies
  • Files submitted and checked via in house back office system
  • Assisting answering enquiries from advisers by email and telephone

Background:

  • Strong communication skills, both verbal and written
  • DipPFS Level 4 qualification in Financial Advice required (partial completion of appropriate qualifications will also be considered)
  • Previous experience in a similar role would be beneficial, although full training provided

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